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David Roe Derby

American Investors Co.

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About David Roe Derby

David Roe Derby is a financial advisor with over 30 years of experience in the industry. David is a registered representative of American Investors Co. and offers a range of financial services including financial planning, portfolio management, and selection of other advisors. David holds the Series 7, Series 63, and SIE licenses and is also a Certified Financial Planner and a Chartered Financial Consultant. David's prior employment includes positions with FINANCIAL MARKETING, INC. and PRINCOR FINANCIAL SERVICES CORPORATION.

Firm Information

David Derby is currently registered with American Investors Co.. American Investors Co. is a California-based corporation that has been in operation since 1973. The firm provides financial planning, portfolio management services for businesses and individuals, and selects other advisors for clients. They are registered with the SEC and in 40 states. They manage over $616 million in assets for a variety of clients including high-net-worth individuals, corporations, and charitable organizations. The firm has over 80 employees, including 20 licensed agents, 30 investment adviser representatives, and 32 registered representatives. They have been involved in 3 regulatory events and 2 arbitrations.
American Investors Co.

12667 ALCOSTA BLVD., SUITE 160

SAN RAMON, CA 94583

$616.90M

Assets Under Management

18

Total Clients

40

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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David Derby’s Registration & Firm History

CA

03/30/1998 - Present

American Investors Co. (MODESTO CA)

NA

05/04/1989 - 02/05/1991

FINANCIAL MARKETING, INC.

NA

09/01/1988 - 05/15/1989

PRINCOR FINANCIAL SERVICES CORPORATION

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Licenses & Designations

BC

Issued 11/13/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/20/1988

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for David Roe Derby.
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